Investment banking analyst serp_jobs.h1.location_city

Summary

The Investment Compliance Analyst is responsible for supporting and enhancing the compliance programs of NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies. This role blends investment compliance oversight, including ensuring compliance with broader firm-level regulatory responsibilities, support and guidance to business and support areas. The ideal candidate is detail-oriented, analytical, and has a strong grasp of SEC regulations, investment products, and compliance systems.

Primary Responsibilities

Regulatory Compliance & Oversight

• Track proposed and newly adopted regulations; update the Chief Compliance Officer (CCO) or Deputy Chief Compliance Officer (DCC)) on changes and assist with impact analysis, implementation strategies, and execution.
• Support the CCO / DCCO in evaluating and enhancing the adequacy of compliance policies, procedures, training, and objectives.
• Administration of the firm’s Code of Ethics program, including monitoring of personal trading and other regulatorily required disclosures.
• Administer record retention, email surveillance, and assessments of business continuity and information security programs.
• Assist with the implementation and testing of required controls under Rule 206(4)7 and preparation and review of regulatory filings as required (e.g., Form ADV).

Investment Compliance

Reporting & Testing

Collaboration & Stakeholder Engagement

Training & Development

Qualifications

In addition to base salary, other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes : a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment

National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.

National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA / SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

National Life Group

1 National Life Dr

Montpelier, VT 05604